- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are ... Written Communications **Additional Competencies:** + Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and/or… more
- TD Bank (New York, NY)
- …areas:** + Capital Markets (Familiarity with Asset Classes and Products) + Compliance (AML, Trade Surveillance and Supervision) **Technical knowledge ... or other AML surveillance vendor solutions or SMARTS/Trading Hub or other trade surveillance vendor platform + Understanding of Workflow Engines + Detailed… more
- SMBC (Jersey City, NJ)
- …AML oversees key processes and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for the America's SMBC ... development initiatives. **Role Objectives** + Report to the Fixed Income Trade Surveillance Manager for day-to-day surveillance assignments; +… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, ... Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time… more
- Bank of America (New York, NY)
- …**Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures ... area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute… more
- JPMorgan Chase (Plano, TX)
- …team, you will spearhead the development and enhancement of our cutting-edge trade surveillance products. This pivotal role combines deep technical expertise ... and vendors + Leads the design and development of trade surveillance software solutions that monitor and...surveillance products, ensuring alignment with business goals and compliance standards + Ensures rigorous quality control and … more
- Capgemini (Whippany, NJ)
- …Analyst with knowledge in delivering Compliance and Regulatory programs in the Compliance IT space ( Trade surveillance and Control Room Surveillance ... this high volume and dynamic data environment spread across Surveillance and other critical compliance applications. + Will work very closely with key business… more
- Robert Half Management Resources (New York, NY)
- …is a market maker in OTC equities seeking a consultant to help on a trade surveillance lookback for OTC equities. Successful candidate will be supporting ... trade surveillance reporting and submitting referrals for.... 3-5 years experience in financial markets . Regulatory compliance experience a plus . Experience with Bloomberg needed… more
- Bank of America (New York, NY)
- Audit Supervisor - Global Markets Trade Surveillance /Market Conduct New York, New York **Job Description:** At Bank of America, we are guided by a common purpose ... **Required Qualifications:** + 4-5 years' in audit or in a compliance /business controls/risk management role with specific experience/coverage of trading desk… more
- Citigroup (Jersey City, NJ)
- …matter The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications, and ... The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance… more
- Citigroup (Getzville, NY)
- …The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and ... Serves as a compliance risk senior analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation,… more
- Love's Travel Stops & Country Stores (Houston, TX)
- **Req ID:** 433477 **BASIC PURPOSE** : Manage and lead Musket and Trillium's trade surveillance and compliance programs. **MAJOR RESPONSIBILITIES:** + Work ... closely with trading, legal, risk, and accounting to ensure compliance with laws and regulations + Manage the continuous...the review, analysis, and reporting of results from internal trade surveillance system(s) + Respond to and… more
- Atria Wealth Solutions (San Diego, CA)
- …+ Fully Remote - USA Compensation: 36,000 - 40,000 POSITION SUMMARY: The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, ... and operating departments. PRINCIPAL DUTIES AND RESPONSIBILITIES: (explain fully) + General trade surveillance reviews, with a focus on potential sales practice… more
- Love's Travel Stops & Country Stores (Houston, TX)
- …PURPOSE** : Provide advanced analysis and essential to Musket and Trillium's trade surveillance and compliance programs. **MAJOR RESPONSIBILITIES:** + ... closely with trading, legal, risk, and accounting to ensure compliance with laws and regulations + Develop and continuously...the review, analysis, and reporting of results from internal trade surveillance system(s) + Respond to and… more
- Wolters Kluwer (Chicago, IL)
- …will report to the Senior Director Product Management * Health Clinical Surveillance & Compliance **RESPONSIBLITIES** Manage the product lifecycle for Sentri7 ... You will be responsible for overall product lifecycle management for the Surveillance products represented by the Sentri7 suite name - Sentri7 Pharmacy, Sentri7… more
- Northrop Grumman (San Diego, CA)
- …Surveillance Division has an opening for either a **Level 3 Principal International Trade Compliance Analyst** or a **Level 4 Sr. Principal International ... Trade Compliance Analyst** to join our team...Trade Compliance Analyst** to join our team of qualified, diverse...ITAR and EAR transactions. The Level 3 Principal International Trade Compliance Analyst or Level 4 Senior… more
- HSBC (New York, NY)
- …issues with setting expectation to multiple businesses simultaneously + Respond to Compliance , Legal, Surveillance , and Business requests with the utmost ... we all share. The objective of the Voice Recording Trade Floor Lead role is to manage all the...that all of the voice recording systems are in compliance with HSBC internal standards as well as complying… more
- Marex (New York, NY)
- …Procedures. + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process. + Provide Compliance Advisory services for ... www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will provide … more
- Phillips 66 (Houston, TX)
- …internal policies and external regulatory requirements; and conducting trade surveillance and monitoring activities. The CTC Compliance Analyst role will ... Together we can fuel the future** The Commercial Trading Compliance department is a key part of the Phillips...and responsibilities to the exchanges and applicable regulators. + Trade Surveillance - Conduct risk-based trade… more
- Citigroup (Getzville, NY)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more